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FINRA: Communications with the Public: Compliance Issues for Wholesalers

Overview

This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • explain what constitutes communication with the public
  • identify content standards for communications with the public
  • recognize FINRA review requirements


Designed For:

Wholesalers




Course Information

Adding additional credit may change exam requirements.

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